Lance S. Mayfield
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Lance Stephen Mayfield, who also goes by L Steve Mayfield, Lance S. Mayfield, Steve Mayfield, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1987. Lance had worked at 13 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2011 - February 9, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
September 29, 2008 - September 14, 2011
WORLD EQUITY GROUP, INC.
November 27, 2007 - July 17, 2008
AVANTAX INVESTMENT SERVICES, INC.
January 10, 2005 - December 31, 2005
EQUITY SERVICES, INC.
September 10, 2004 - December 31, 2005
EQUITY SERVICES, INC.
July 3, 2003 - August 23, 2004
EQUITABLE ADVISORS, LLC
August 21, 2002 - June 18, 2003
1ST DISCOUNT BROKERAGE, INC.
April 12, 2002 - September 17, 2002
WORLD GROUP SECURITIES, INC.
May 3, 2001 - April 12, 2002
WMA SECURITIES, INC.
June 15, 1999 - March 16, 2001
SEQUOIA INVESTMENTS, INC.
February 2, 1998 - March 26, 1999
FIRST UNION CAPITAL MARKETS CORP.
October 15, 1990 - February 2, 1998
FIRST UNION CAPITAL MARKETS CORP.
September 9, 1988 - October 11, 1990
NW CAPITAL MARKETS INC.
May 21, 1987 - December 22, 1987
MANUFACTURERS HANOVER SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST COMMAND BROKERAGE SERVICES, INC.
CRD#: 3641 / SEC#: , 8-7072
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIRST COMMAND FINANCIAL SERVICES, INC. | STOCKHOLDER/OWNER | |
| CADDELL, TINA KATHERINE | VICE PRESIDENT - PRINCIPAL OPERATIONS OFFICER | 3041675 |
| CERBONE, HEIDI ELIZABETH | VICE PRESIDENT AND TREASURER | 5734664 |
| CHARTAN, ERIC | SENIOR VICE PRESIDENT, CHIEF LEGAL OFFICER | 4809520 |
| GRIFFIN, CASEY JAMES | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 3124214 |
| HUBKA, MEEGHAN LYNNE | VICE PRESIDENT, PRINCIPAL FINANCIAL OFFICER (FINOP) | 5859322 |
| RICHTER, KELLEEN MARIE | EXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER | 2098017 |
| SMITH, FRANK DEAN | SENIOR VICE PRESIDENT - CHIEF INFORMATION SECURITY OFFICER & CHIEF TECHNOLOGY OFFICER | 6005160 |
| STEFFE, MARK DUANE | PRESIDENT/CEO | 2204689 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
